DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• F•••••••• P•••••••• I•••
CANFIELD, OH | ROCKY RIVER, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| A••••• F•••••••• P•••••••• I••• | Independent wealth | Jun 26, 2025 | n/a | yes | ROCKY RIVER, OH|CANFIELD, OH | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Oct 11, 2024 | Jun 25, 2025 | no | SCOTTSDALE, AZ|Willoughby Hills, OH|CANFIELD, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | A••••• F•••••••• P•••••••• I••• | Jun 25, 2025 | Jun 26, 2025 | 1 | Firm change | Ibd to RIA |
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Aug 30, 2019 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| S•••••• W••••• P•••••••• L•• | Bd affiliated wealth | Jan 4, 2017 | Sep 17, 2019 | no | WILLOUGHBY, OH | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 16, 2007 | Apr 24, 2017 | no | WILLOUGHBY HILLS, OH|FORT MILL, SC|MENTOR, OH|MENTOR, OH|WILLOUGHBY HILLS, OH | Previous registration |
| E••••• J•••• | National bd RIA | Jan 25, 2007 | Feb 21, 2007 | no | CHESTERLAND, OH | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S•••••• W••••• P•••••••• L•• | A••••••• P••••••••• A•••••••• I•• | Sep 17, 2019 | Aug 30, 2019 | -18 | Firm change | RIA to RIA |
| L•• F•••••••• L•• | S•••••• W••••• P•••••••• L•• | Apr 24, 2017 | Jan 4, 2017 | -110 | Firm change after gap | Other |
| E••••• J•••• | L•• F•••••••• L•• | Feb 21, 2007 | Feb 16, 2007 | -5 | Firm change | Other |